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6 Jan 2016, 8:16 am
The firm represents investors in FINRA arbitration claims throughout the country. [read post]
16 Jun 2014, 12:42 pm
If so, The White Law Group may be able to help you recover your investment losses through a FINRA arbitration claim against the brokerage firm that employed her. [read post]
5 Apr 2012, 6:29 am
The decision, which resolves charges Finra brought in May 2010, includes a $2.3 million fine and restitution to affected customers of $1.4 million, plus interest. [read post]
23 Feb 2017, 7:25 am
If so, the securities attorneys of The White Law Group may be able to help you recover your losses through FINRA Arbitration. [read post]
28 Apr 2020, 12:29 pm
If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Dispute Resolution claim. [read post]
6 Jan 2016, 8:04 am
The firm represents investors in FINRA arbitration claims throughout the country. [read post]
29 Mar 2010, 1:34 pm
FINRA's former Chief of Enforcement Susan L. [read post]
6 Jan 2016, 8:10 am
The firm represents investors in FINRA arbitration claims throughout the country. [read post]
2 Nov 2017, 6:33 am
If so, The White Law Group may be able to help you recover your losses by filing a FINRA arbitration claim against the brokerage firm that sold you the investment. [read post]
5 Jun 2010, 8:57 am
In March 2010, Okoboji Financial lost a $978,000 arbitration claim over unsuitable structured settlements, according to records with FINRA. [read post]
28 Jun 2015, 8:37 am
Yzaguirre has been a FINRA broker since 1994. [read post]
12 Sep 2017, 6:43 am
(FINRA Case #2014040326101) Wells Fargo Securities, LLC (CRD #126292, Charlotte, North Carolina) – An AWC (Accept Waiver & Consent) was issued in which the firm was censured, fined $3,250,000, and required to review its supervisory systems and processes. [read post]
31 Oct 2019, 11:44 am
Centaurus Financial investigation into Structured CDs The securities attorneys at The Law Office of David Liebrader have opened an investigation into the securities related conduct of Centaurus Financial a registered FINRA broker dealer based in Anaheim, California. [read post]
9 May 2012, 6:25 am
Another large group in the financial service industry has come forward to oppose authorizing the Federal Industry Regulatory Authority (FINRA) to become the self regulatory organization (SRO) for investment advisers. [read post]
18 Dec 2008, 12:19 am
She knows the SEC and the CFTC and from her current perch as CEO of FINRA, she knows regulated industries (read Madoff). [read post]
2 Aug 2017, 3:43 pm
Gana LLP is investigating claims made by Financial Industry Regulatory Authority (FINRA) against broker David Menashe (Menashe). [read post]
11 Feb 2008, 6:20 am
Last week the North American Securities Administrators Association called on FINRA and the SEC to make changes to the securities arbitration system to "improve the fairness" of securities arbitration. [read post]
2 Mar 2009, 7:44 am
While the MSM is castigating the SEC and FINRA, they should also be casting blame on themselves. [read post]
25 Jan 2011, 5:00 am
Now that most private funds managers are required to register with SEC as investment advisers, the SEC is considering abandoning them to regulation by FINRA. [read post]
